Dominik Yates

APPLIED WEALTH MANAGEMENT

BAKERSFIELD, CA 93309

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CRD#: 6936274

Professional summary

Dominik Yates, who also goes by Dominik Yates, is a registered financial advisor currently at APPLIED WEALTH MANAGEMENT located in Bakersfield, California.

Dominik is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Dominik has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dominik Yates

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dominik Yates's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 15, 2022 - Present

APPLIED WEALTH MANAGEMENT

Office #1: 5500 Ming Ave Suite 265, Bakersfield, CA 93309

RIA

CRD#: 318732

BAKERSFIELD, CA

Past

January 16, 2020 - July 15, 2022

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

SAN RAMON, CA

Past

January 16, 2020 - July 15, 2022

PARK AVENUE SECURITIES LLC

CRD#: 46173

SAN RAMON, CA

Past

March 18, 2019 - December 3, 2019

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

LOS ANGELES, CA

Past

November 17, 2018 - December 3, 2019

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

LOS ANGELES, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(8/15/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/22/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/17/2018

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/30/2018

Securities Industry Essentials Examination

Current Firm

APPLIED WEALTH MANAGEMENT

APPLIED WEALTH MANAGEMENT | APPLIED WEALTH MANAGEMENT FINANCIAL & INSURANCE SERVICES LLC

CRD#: 318732 / SEC#:

California

Registered Investment Advisory firm - (4/29/2022 Approved)

Georgia

Registered Investment Advisory firm - (10/20/2022 Approved)

Nevada

Registered Investment Advisory firm - (8/11/2022 Approved)

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Contact information

Main Address

5500 Ming Ave Suite 265, Bakersfield, CA 93309

Mailing Address

Phone number

(818) 726-1842

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	227
AUM (Assets Under Management)	$ 44,000,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Dominik Yates

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dominik Yates's CRS (Customer Relationship Summary).

Certified licenses

Experience

APPLIED WEALTH MANAGEMENT

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/22/2019

Series 7TO

Date: 11/17/2018

SIE

Date: 10/30/2018

Current Firm

APPLIED WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

APPLIED WEALTH MANAGEMENT

TRUST BUT VERIFY

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